Banking and Securities Regulation in the Netherlands
This book's primary goal is to give a non-Dutch lawyer a basic understanding of the Dutch financial regulatory environment. In most countries financial regulation is not the easiest accessible area of the law and the Netherlands is no exception. For anyone involved in the Dutch financial industry this book will prove an indispensable toll to have some meaningful insights into the Dutch regulatory landscape. The authors are experienced practitioners who have advised domestic and international clients on Dutch financial law for many years. Together they also have extensive transactional experience as well as considerable in-house experience at both the Dutch financial regulators. Bank and Financial Securities Regulation in the Netherlands will prove a practical and comprehensive guide for non-Dutch lawyers as well as businesses and individuals who are active in the Dutch financial industry. It may also help- other Dutch lawyers to advise their non-Dutch counterparts on some of the intricacies of Dutch financial law.
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The Financial Supervision Act WFT
Credit Institutions Established in the Netherlands
Conduct of Business Supervision
Regulatory Approvals and Notifications
Credit Institutions Established outside the Netherlands
Supervisory Powers and Enforcement
Regulation of Securities Offerings
Regulation of Publicly Held Companies
Regulation of the Securities Business
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administrative admitted to trading agreement Allen & Overy application assessment assets bank established bank’s basis Business Decree Capital Adequacy capital requirements comply Conduct of Business conjunction with Art consolidated credit institution credit risk deposit guarantee scheme depository EEA Member electronic money eligible counterparties Enterprises Market Access Euronext Amsterdam exchange execution exemptions Financial Enterprises Market financial instruments financial markets holder home state regulator implementing inside information insider trading inter alia internal investment firm investment undertakings issued issuer licence liquidity Market Abuse Decree ment MiFID natural persons Netherlands notification NYSE Euronext obligation offer operations outsourced Overy LLP paragraph prohibition Prospectus Directive provide investment services Prudential Supervision Decree Pursuant to Art qualified investor qualifying holding Recast Banking Directive referred regard regulated market regulatory capital relation relevant repayable funds rules Sanctions securities securitisation shares Solvency Requirements Tier 2 capital tion UCITS voting rights WWFT